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SEC Reaches Settlement with Blackbaud Over Inadequate Disclosure Controls

USA - March 15 2023 On March 9, 2023, the Securities and Exchange Commission (SEC) reached a settlement with Blackbaud - a client relationship management (CRM) service…

Stephanie Avakian, Ali A. Jessani, Kirk J. Nahra, Benjamin A. Powell, Genesis Ruano

Three Reasons the PCAOB’s Agreement With China May Not Have Changed the Landscape

China, Hong Kong, USA - August 30 2022 After months of closed-door negotiations, the Public Company Accounting Oversight Board (PCAOB) announced on Friday that it has entered into a…

Christopher Davies, Jeffrey I. Kessler, Alan J. Wilson

Jarkesy Case Upends SEC Tribunal

USA - May 24 2022 On May 18, 2022, the US Court of Appeals for the Fifth Circuit issued its decision in Jarkesy v. SEC, vacating a Securities and Exchange Commission…

Stephanie Avakian, Matthew T. Martens, Timothy J. Perla

CFTC Enforcement Division Issues Compliance Program Guidance

USA - November 11 2020 On September 10, 2020, the Commodity Futures Trading Commission’s (CFTC, or the Commission) Division of Enforcement (Division) director issued a…

Paul M. Architzel, Matthew Beville, Robert Greffenius, Elizabeth Mitchell, Anjan Sahni, Petal Walker

Liu v. SEC: The U.S. Supreme Court Upholds the SEC’s Power To Obtain Disgorgement in Civil Actions, But With Important Limitations

USA - June 24 2020 On June 22, the Supreme Court held in Liu v. SEC that the SEC may obtain disgorgement in federal court cases, as long as the disgorgement does not…

Christopher Davies, Lorraine B. Echavarria, Matthew T. Martens, Lori A. Martin, Elizabeth Mitchell, Jaclyn Moyer, Nicole Rabner, Theresa Titolo, Eric D. Wolkoff